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Governance & Conflicts of Interest

Date
MEETING WITH
REGARDING RULEMAKING
10/11/2012
11:00 AM
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R. Bryan Woodard (State Street Corp.)

other representatives of State Street Corp.

Graham Harper (Delta Strategies)
IX. Governance & Possible Limits

07/19/2012
11:00 AM
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"SEF Coalition," namely:

FX Alliance

ICE

Tradeweb

Latham & Watkins

Rich Feuer Anderson
IX. Governance & Possible Limits

06/08/2012
12:00 AM
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Katten Muchin Rosenman LLP
IX. Governance & Possible Limits

05/30/2012
4:15 PM
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ISDA

Morgan Stanley

DE Shaw

Bank of America/Merrill Lynch

Barclay's
VII. DCO Core Principles

IX. Governance & Possible Limits

XI. End-user Exception

XIII. SEF Registration

04/10/2012
11:00 AM
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Tradeweb

Ogilvy
IX. Governance & Possible Limits

04/04/2012
2:00 PM
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Katten Muchin Rosenman LLP
IX. Governance & Possible Limits

11/14/2011
3:30 PM
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Thomson Reuters
IX. Governance & Possible Limits

XIII. SEF Registration

10/06/2011
1:00 PM
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NFA
IX. Governance & Possible Limits

09/14/2011
2:30 PM
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ICE Futures US
VII. DCO Core Principles

IX. Governance & Possible Limits

09/12/2011
2:00 PM
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Natural Gas Exchange (NGX)
II. Definitions

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

07/29/2011
2:30 PM
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Better Markets, Inc.
IX. Governance & Possible Limits

07/28/2011
3:45 PM
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Bloomberg
IX. Governance & Possible Limits

07/21/2011
11:30 AM
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Bloomberg
IX. Governance & Possible Limits

04/15/2011
11:00 AM
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LCH Clearnet (LCH)

Rich Feuer Group
IX. Governance & Possible Limits

General

04/12/2011
4:00 PM
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BlackRock
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards – Internal

IX. Governance & Possible Limits

04/06/2011
3:00 PM
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ISDA

Kalorama Partners

Mayer Brown
II. Definitions

IX. Governance & Possible Limits

XXVI. Position Limits

General

03/10/2011
11:00 AM
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UBS
IX. Governance & Possible Limits

XVIII. Real Time Reporting

03/04/2011
9:00 AM
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Cleary Gottlieb, Barclays, BNP Paribas, Citi, Credit Suisse, Deutsche Bank, Morgan Stanley, Normura, Societe General, Wells Fargo
IX. Governance & Possible Limits

02/23/2011
11:30 AM
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Getco LLC (Getco)
IX. Governance & Possible Limits

02/23/2011
9:15 AM
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GETCO
IX. Governance & Possible Limits

02/23/2011
8:30 AM
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GETCO
IX. Governance & Possible Limits

02/18/2011
1:30 PM
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UBS Securities
IX. Governance & Possible Limits

XIII. SEF Registration

02/10/2011
5:15 PM
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V. Capital & Margin

IX. Governance & Possible Limits

XXVI. Position Limits

General

02/08/2011
1:00 PM
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ELX
IX. Governance & Possible Limits

02/04/2011
1:00 PM
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Barclays Capital
IX. Governance & Possible Limits

XIII. SEF Registration

XXVI. Position Limits

General

01/28/2011
10:00 AM
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NYSE

Tradeweb

FXall

LCH.Clearnet
I. Registration

VII. DCO Core Principles

IX. Governance & Possible Limits

01/28/2011
9:30 AM
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FXall

LCH.Clearnet

NYSE Euronext

Tradeweb
I. Registration

IX. Governance & Possible Limits

01/26/2011
2:00 PM
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NYSE Euronext
IX. Governance & Possible Limits

01/21/2011
1:00 PM
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Credit Suisse
IX. Governance & Possible Limits

XIII. SEF Registration

01/19/2011
11:30 AM
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Citadel Group
IX. Governance & Possible Limits

XXVI. Position Limits

12/09/2010
8:30 AM
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Nomura
IX. Governance & Possible Limits

12/08/2010
2:00 PM
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MFA

Delta Strategy Group

King Street Capital Management

BlueMountain Capital Management, LLC

Citadel LLC

Brevan Howard, Inc.

Tudor Investment Corporation
II. Definitions

VI. Segregation and Bankruptcy

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XVI. Swap Data Repositories Registration

XXIII. Anti-Manipulation

XXIV. Disruptive Trading Practices

11/29/2010
2:00 PM
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Better Markets, Inc. (BMI)
V. Capital & Margin

IX. Governance & Possible Limits

XII. DCM Core Principles

XIII. SEF Registration

XXVI. Position Limits

11/22/2010
4:30 PM
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Woodrow Wilson School of Public and International Affairs
IX. Governance & Possible Limits

General

11/15/2010
1:00 PM
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Goldman Sachs & Co.
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

11/10/2010
9:30 AM
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D.E. Shaw & Co., L.P. (D.E. Shaw)

Deutsche Bank

International Swaps and Derivatives Association (ISDA) 

Kalorama Partners LLC (Kalorama)
I. Registration

IX. Governance & Possible Limits

XIII. SEF Registration

XVI. Swap Data Repositories Registration

11/09/2010
3:00 PM
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LCH.Clearnet

Rich Feuer Group
IX. Governance & Possible Limits

11/09/2010
1:00 PM
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LCH Clearnet

Rich Feuer Group
IX. Governance & Possible Limits

XIII. SEF Registration

11/09/2010
11:35 AM
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LCH Clearnet, Rich Feuer Group
VII. DCO Core Principles

IX. Governance & Possible Limits

10/27/2010
3:30 PM
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The Options Clearing Corporation
IX. Governance & Possible Limits

10/27/2010
2:00 PM
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Options Clearing Corporation (OCC)
VII. DCO Core Principles

IX. Governance & Possible Limits

10/21/2010
12:15 PM
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Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
12:00 PM
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Institute of International Bankers
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/21/2010
8:00 AM
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Citi

UBS Investment Bank

MetLife, Inc.

State Street

JPMorgan Chase & Co.

Credit Suisse

Prudential Financial

Goldman Sachs

Deutsche Bank Americas

BNY Mellon

Financial Services Forum
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/08/2010
10:30 AM
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The Depository Trust & Clearing Corporation
IX. Governance & Possible Limits

10/07/2010
2:00 PM
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Morgan Stanley
VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

10/06/2010
12:00 PM
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Allstate Insurance Company

American International Group, Inc.

Bank of America

BNY Mellon

Citi

Deutsche Bank AG

Edward Jones

Fidelity Investments

Financial Services Forum

GE Capital

The Goldman Sachs Group, Inc.

JPMorgan Chase & Co.

MetLife, Inc.

Prudential Financial

State Street Corporation

UBS AG

US Bancorp

Wells Fargo & Company
IX. Governance & Possible Limits

XI. End-user Exception

XXI. Joint Rules w/ SEC

10/06/2010
8:30 AM
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J.P. Morgan Chase & Co.
I. Registration

II. Definitions

V. Capital & Margin

VI. Segregation and Bankruptcy

VII. DCO Core Principles

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

XI. End-user Exception

10/05/2010
11:30 AM
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Reval
IX. Governance & Possible Limits

09/29/2010
2:30 PM
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Depository Trust & Clearing Corporation (DTCC)

APCO Worldwide (APCO)

Patton Boggs
IX. Governance & Possible Limits

XVI. Swap Data Repositories Registration

09/29/2010
1:00 PM
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NYSE LIFFE US

NYSE Euronext
IX. Governance & Possible Limits

09/29/2010
10:00 AM
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NYSE LIFFE US

NYSE Euronext
IX. Governance & Possible Limits

09/28/2010
12:00 AM
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NASDAQ OMX (NASDAQ)
IX. Governance & Possible Limits

09/23/2010
10:30 AM
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London Stock Exchange (LSE)

 

Patton Boggs (PB)
IX. Governance & Possible Limits

09/21/2010
2:00 PM
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Goldman Sachs
VII. DCO Core Principles

IX. Governance & Possible Limits

X. Systemically Important DCO Rules

09/17/2010
1:00 PM
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American Benefits Council

General Dynamics

GM Asset Management

NISA Investment Advisors LLC

CIEBA

Davis & Harman LLP

Skadden
II. Definitions

III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

IX. Governance & Possible Limits

XI. End-user Exception

XVI. Swap Data Repositories Registration

XVII. Data Recordkeeping

09/13/2010
3:00 PM
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Jefferies and Company, Inc.
III. Business Conduct Standards w/ Counterparties

IV. Business Conduct Standards - Internal

VII. DCO Core Principles

IX. Governance & Possible Limits

XII. DCM Core Principles

XVIII. Real Time Reporting

09/13/2010
2:00 PM
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LCH Clearnet
VI. Segregation and Bankruptcy

VII. DCO Core Principles

IX. Governance & Possible Limits

09/09/2010
9:00 AM
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Alternative Investment Management Association (AIMA)
II. Definitions

V. Capital & Margin

VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/07/2010
4:30 PM
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Intercontinental Exchange
VIII. Process for Review of Swaps

IX. Governance & Possible Limits

09/01/2010
8:00 AM
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Represenatives of various energy companies, financial firms, consultants, and other interested persons.  The session was open to the press.
All
08/18/2010
2:00 PM
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FIA
All
08/05/2010
2:00 PM
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BlackRock
All
08/03/2010
2:00 PM
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ISDA

SIFMA
II. Definitions

IX. Governance & Possible Limits

VII. DCO Core Principles

VIII. Process for Review of Swaps

X. Systemically Important DCO Rules

XIII. SEF Registration

XVII. Data Recordkeeping

XVIII. Real Time Reporting

XXI. Joint Rules w/ SEC

XXVIII. Volcker Rule
07/30/2010
10:00 AM
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National Futures Association (NFA)
All
Date
SUBMISSION
04/12/2011
SDs and MSPs Should Not be Treated as Identical Twins PDF Image
BlackRock, From External Meeting on 4/12/2011
02/23/2011
02/08/2011
RE: Comment on Proposed Conflicts of Interest Rule PDF Image
ELX, From External Meeting on 2/8/2011
01/04/2011
Position limits PDF Image
Sphereshadow
12/03/2010
10/27/2010
Governance_Memorandum_of_Conversation_with_OCC_on_October_27_2010_259 PDF Image
Options Clearing Corporation, From External Meeting on 10/27/2010
10/05/2010
09/29/2010
Natural Gas Supply Association PDF Image
Natural Gas Supply Association
09/21/2010
Discussions with the CFTC & SEC - Clearing PDF Image
The Goldman Sachs Group, Inc., From External Meeting on 9/21/2010
09/17/2010
Comments of American Benefits Council Provided at 9-17 CFTC Meeting_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/17/2010
Agenda of 9-17 CFTC-SEC Meeting with Pension Plans_25 PDF Image
American Benefits Council, From External Meeting on 9/17/2010
09/15/2010
09/01/2010
dmb argus_72 PDF Image
Argus Oil Market Regulation Summit 2010
08/23/2010
08/23/2010
08/03/2010
Title VII Rulemakings PDF Image
SEC/CFTC and ISDA/SIFMA

See Also:

OpenGov Logo

CFTC's Commitment to Open Government

Gavel and Book

Follow the Status of Enforcement Actions